Award NASD Dispute Resolution In the Matter of the Arbitration Between: SW Bach & Company (Claimant) v. Jason Meyers and Aspatuck Holdings, Ltd. (Respondents) Case Number: 04-07499 Hearina Site: New York, New York Nature of the Dispute: Member v. Associated Person and Non-Member. REPRESENTATION OF PARTIES Claimant SW Bach & Company hereinafter referred to as "Claimant" appeared pro se. Previously represented by Joshua Summers, Esq., Ellenoff Grossma

Award NASD Dispute Resoiution In the Matter of the Arbitration Between: Michael and Rose Bender (Claimants) v. Merrill Lynch, Pierce, Fenner & Smith, Inc. (Respondent) Case Number: 06-00467 Hearing Site: Newark, New Jersey Nature of the Dispute: Customers v. Member. REPRESENTATION OF PARTIES Claimants Michael Bender ("M. Bender") and Rose Bender ("R. Bender") hereinafter collectively referred to as "Claimants": Robert S. Moraff, Esq., Law Office of

A /O Award NASD Dispute Resoiution In the Matter of the Arbitration Between: Florence R. Josem (Claimant) v. UBS Financial Services, Inc. (Respondent) Case Number: 06-04385 Hearing Site: Hartford, Connecticut Nature of the Dispute: Customer v. Member. REPRESENTATION OF PARTIES Claimant Florence R. Josem hereinafter referred to as "Claimant": Thomas P. Willcutts, Esq., Willcutts Law Group, Hartford, CT. Respondent UBS Financial Services, Inc., he

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE: 99-03782 The Pension Trust of Laser Applications, claimant vs. Charles Schwab & Co., Inc., respondent. ATTORNEYS: Claimant appeared through its Trustee, Viktor Met, Medford, OR. Respondent appeared through its in-house counsel, Mauricio S. Beugelmans, Esq., San Francisco, CA. DATE FILED: August 17, 1999 CASE SUMMARY: Claimant alleged that respondent improperly imposed restrictions on

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Laura and James Torina, Claimants v. Byron Del Piro and Salomon Smith Barney, Inc., Respondents Case Number: 00-01159 Hearing Site: Seattle, Washington REPRESENTATION OF PARTIES For Claimants: Lawrence R. Cock, Esq. Cable Langenbach Kinerk & Bauer, LLP Seattle, Washington For Respondent/Cross-Respondent Byron Del Piro: Christopher B. Wells, Esq. Lane Powell Spears Lu

stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: David 1. Suttell (Claimant) v. Advest, Inc., Merrill Lynch, Pierce, Fenner & Smith, Inc., Edward Carlsen, Sr., AXA Distributors, LLC, AXA Advisors, LLC, Doran M. Young, and Roger Faulring (Respondents). Case Number: 06-01334 Hearing Site: Buffalo. New York Nature of Dispute: Customer vs. Members and Associated Persons. REPRESENTATION OF PARTIES Claimant David 1. Sutte

AWARD NASD DISPUTE RESOLUTION In the Matter of the Arbitration Between: Watson & Associates International Corporation (Claimant) vs. Gilad Satena (Respondent) Case Number: 06-02018 SITUS: Buffalo. New York NATURE OF DISPUTE: Customer v. Associated Person. REPRESENTATION OF PARTIES Watson & Associates International Corporation hereinafter referred to as "Claimant": Nicholas J. Guiliano, Esq., The Guiliano Law Firm, Philadelphia, PA. Responden

Award NASD Dispute Resoiution In the Matter of the Arbitration Between: Louella Miller (Claimant) vs. Cantella & Co., Inc., First Midwest Securities, Inc., and Todd Oplinger (Respondents) Case Number: 05-00244 Hearina Site: Philadelphia, Pennsylvania Craig Miller (Claimant) vs. Cantella & Co., Inc., First Midwest Securities, Inc., and Todd Oplinger (Respondents) Case Number: 05-00430 Hearina Site: Philadelphia, Pennsylvania Nature of the Dispute: 05

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Elizabeth Bing Shen (Claimant) vs. Barclays Capital Inc. (Respondent) Case Number: 06-03732 Hearina Site: New York, New York Nature of the Dispute: Associated Person vs. Member. REPRESENTATION OF PARTIES Claimant Elizabeth Bing Shen hereinafter referred to as "Claimant": John D. Singer, Esq., Singer Deutsch LLP, New York, NY. Respondent Barclays Capital Inc. hereinafter referred

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Augustus Capital LLC (Claimant) vs. Andrew C. Sankin (Respondent) Case Number: 05-02528 Hearing Site: New York, New York Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES Claimant Augustus Capital LLC hereinafter referred to as "Claimant": Charles A. Stewart, Esq., Stewart Occhipinti, LLP, New York, NY and Ronda S. Leonard, Esq., New Rochelle, NY.